Subpart E - MONITORING OF TRADING AND TRADE PROCESSING
- Section 37.400 - Core Principle 4-Monitoring of trading and trade processing
- Section 37.401 - General requirements
- Section 37.402 - Additional requirements for physical-delivery swaps
- Section 37.403 - Additional requirements for cash-settled swaps
- Section 37.404 - Ability to obtain information
- Section 37.405 - Risk controls for trading
- Section 37.406 - Trade reconstruction
- Section 37.407 - Regulatory service provider
- Section 37.408 - Additional sources for compliance